Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Heald Peeples is a financial advisor with LPL Financial LLC. Amy has been in the financial industry since October 1997. She is registered in California and has a Series 7, Series 9, Series 10, Series 66 and Series 99TO license. Amy has experience working with a range of clients, including individuals, corporations, charitable organizations, and pension and profit-sharing plans. Amy offers a variety of advisory services, including financial planning, portfolio management, and selection of other advisors. Previously, Amy was employed by Wells Fargo Clearing Services, LLC, RBC DAIN RAUSCHER INC. and SUTRO & CO. INCORPORATED.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/05/2021 - Present
LPL Financial LLC (ROSEVILLE CA)
CA
02/19/2008 - 10/12/2021
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
03/09/2002 - 02/20/2008
RBC DAIN RAUSCHER INC. (SAN FRANCISCO CA)
CA
10/31/1997 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
BOTH
Issued 02/20/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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